Presented by

Transition Message
COBIT 4.1, Val IT and Risk IT users who are already

engaged in governance of enterprise IT (GEIT)

implementation activities can transition to COBIT 5
and benefit from the latest and improved guidance
that it provides during the next iterations of their
enterprises improvement life cycle.
COBIT 5 builds on previous versions of COBIT (and
Val IT and Risk IT) and so enterprises can also build
on what they have developed using earlier versions.

2012 ISACA. This work, and any derivatives thereof, may not be offer for sale alone or as part any other publication or product.

Stakeholder Value and Business Objectives

Enterprises exist to create value for their stakeholders.

Consequently, any enterprise commercial or not

will have value creation as a governance objective.
Value creation means: Realising benefits at an optimal
resource cost while optimising risk.

Source: COBIT 5, figure 3. 2012 ISACA All rights reserved.

Stakeholder Value and Business Objectives (cont.)

Principle 1. Meeting
Stakeholder Needs:
Stakeholder needs have to be
transformed into an enterprises
actionable strategy.
The COBIT 5 goals cascade
translates stakeholder needs
into specific, actionable and
customised goals within the
context of the enterprise,
IT-related goals and enabler
goals.
Source: COBIT 5, figure 4. 2012 ISACA All rights reserved.

Stakeholder Value and Business Objectives (cont.)

Stakeholder needs can be related to a set of generic

enterprise goals.
These enterprise goals have been developed using the
Balanced Scorecard (BSC) dimensions. (Kaplan, Robert S.;
David P. Norton; The Balanced Scorecard: Translating
Strategy into Action, Harvard University Press, USA, 1996)
The enterprise goals are a list of commonly used goals that
an enterprise has defined for itself.
Although this list is not exhaustive, most enterprise-specific
goals can be easily mapped onto one or more of the generic
enterprise goals.
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Stakeholder Value and Business Objectives (cont.)

Source: COBIT 5, figure 5. 2012 ISACA All rights reserved.

Stakeholder Value and Business Objectives (cont.)

The goals cascade is not new to COBIT.
It was introduced in COBIT 4.0 in 2005.
Those COBIT users who have applied the thinking to

their enterprises have found value.

BUT not everyone has recognized this value.
The goals cascade supports the COBIT 5 stakeholder
needs principle that is fundamental to COBIT and has
therefore been made prominent early in the COBIT 5
guidance.
The goals cascade has been revisited and updated for the
COBIT 5 release.
2012 ISACA. This work, and any derivatives thereof, may not be offer for sale alone or as part any other publication or product.

Governance and Management Defined

What sort of framework is COBIT?
An IT audit and control framework?

COBIT (1996) and COBIT 2nd Edition (1998)

Focus on Control Objectives
An IT management framework?
COBIT 3rd Edition (2000)
Management Guidelines added
An IT governance framework?
COBIT 4.0 (2005) and COBIT 4.1 (2007)
Governance and compliance processes added
Assurance processes removed
BUT what is the difference between governance and
management?

2012 ISACA. This work, and any derivatives thereof, may not be offer for sale alone or as part any other publication or product.

Governance and Management Defined (cont.)

Governance ensures that enterprise objectives are

achieved by evaluating stakeholder needs, conditions

and options; setting direction through prioritisation and
decision making; and monitoring performance,
compliance and progress against agreed-on direction and
objectives (EDM).
Management plans, builds, runs and monitors
activities in alignment with the direction set by the
governance body to achieve the enterprise objectives
(PBRM).
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Governance and Management Defined (cont.)

The COBIT 5 process reference model subdivides the IT-related
practices and activities of the enterprise into two main areas
governance and managementwith management further divided into
domains of processes:
The GOVERNANCE domain contains five governance processes;
within each process, evaluate, direct and monitor (EDM) practices
are defined.
The four MANAGEMENT domains are in line with the
responsibility areas of plan, build, run and monitor (PBRM)

Source: COBIT 5, figure 15. 2012 ISACA All rights reserved.

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Areas of Change
The following slides summarise the major changes in

COBIT 5 content and how they may impact GEIT

implementation/improvement:
1. New GEIT Principles
2. Increased Focus on Enablers
3. New Process Reference Model
4. New and Modified Processes
5. Practices and Activities
6. Goals and Metrics
7. Inputs and Outputs
8. RACI Charts
9. Process Capability Maturity Models and Assessments
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1. New GEIT Principles

COBIT 5 Principles

Source: COBIT 5, figure 2. 2012 ISACA All rights reserved.

12

1. New GEIT Principles

(cont.)

Val IT and Risk IT frameworks are principles-based.

Feedback indicated that principles are easy to understand

and put into an enterprise context, allowing value to be

derived from the supporting guidance more effectively.
ISO/IEC 38500 also incorporates principles to underpin its
messages to achieve the same market benefit delivery,
although the principles in this standard and COBIT 5 are
not the same.

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2. Increased Focus on Enablers

COBIT 4.1 did not have enablers! Yes it didthey were

not called enablers but they were there, explicitly or

implicitly!

Source: COBIT 5, figure 12. 2012 ISACA All rights reserved.

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2. Increased Focus on Enablers

(cont.)

Information, infrastructure, applications (services) and

people (people, skills and competencies) were COBIT 4.1

resources.
Principles, policies and frameworks were mentioned in a
few COBIT 4.1 processes.
Processes were central to COBIT 4.1 use.
Organisational structure was implied through the
responsible, accountable, consulted or informed (RACI)
roles and their definitions.
Culture, ethics and behaviour were mentioned in a few
COBIT 4.1 processes.
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3. New Process Reference Model

COBIT 5 is based on a revised process reference model

with a new governance domain and several new and

modified processes that now cover enterprise activities
end-to-end, i.e., business and IT function areas.
COBIT 5 consolidates COBIT 4.1, Val IT and Risk IT into
one framework, and has been updated to align with current
best practices, e.g., ITIL, TOGAF.
The new model can be used as a guide for adjusting as
necessary the enterprises own process model (just like
COBIT 4.1).

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3. New Process Reference Model (cont.)

Source: COBIT 5, figure 16. 2012 ISACA All rights reserved.

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4. New and Modified Processes

COBIT 5 introduces five new governance processes that

have leveraged and improved COBIT 4.1, Val IT and Risk

IT governance approaches.
This guidance:
Helps enterprises to further refine and strengthen
executive management-level GEIT practices and
activities
Supports GEIT integration with existing enterprise
governance practices and is aligned with
ISO/IEC 38500
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4. New and Modified Processes (cont.)

COBIT 5 has clarified management level processes and

integrated COBIT 4.1, Val IT and Risk IT content into one

process reference model

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4. New and Modified Processes (cont.)

There are several new and modified processes that reflect

current thinking, in particular:

APO03 Manage enterprise architecture.
APO04 Manage innovation.
APO05 Manage portfolio.
APO06 Manage budget and costs.
APO08 Manage relationships.
APO13 Manage security.
BAI05 Manage organisational change enablement.
BAI08 Manage knowledge.
BAI09 Manage assets.
DSS05 Manage security service.
DSS06 Manage business process controls.
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4. New and Modified Processes (cont.)

COBIT 5 processes now cover end-to-end business and

IT activities, i.e., a full enterprise-level view.

This provides for a more holistic and complete coverage
of practices reflecting the pervasive enterprisewide
nature of IT use.
It makes the involvement, responsibilities and
accountabilities of business stakeholders in the use of IT
more explicit and transparent.

2012 ISACA. This work, and any derivatives thereof, may not be offer for sale alone or as part any other publication or product.

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5. Practices and Activities

The COBIT 5 governance or management practices are

equivalent to the COBIT 4.1 control objectives and Val IT

and Risk IT processes.
www.isaca.org/Journal/Past-Issues/2011/Volume4/Pages/Where-Have-All-the-Control-Objectives-Gone.aspx

The COBIT 5 activities are equivalent to the COBIT 4.1

control practices and Val IT and Risk IT management

practices.
COBIT 5 integrates and updates all of the previous
content into the one new model, making it easier for users
to understand and use this material when implementing
improvements.
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6. Goals and Metrics

COBIT 5 follows the same goal and metric concepts as

COBIT 4.1, Val IT and Risk IT, but these are renamed
enterprise goals, IT-related goals and process goals
reflecting an enterprise level view.
COBIT 5 provides a revised goals cascade based on
enterprise goals driving IT-related goals and then
supported by critical processes.
COBIT 5 provides examples of goals and metrics at the
enterprise, process and management practice levels. This
is a change to COBIT 4.1, Val IT and Risk IT, which went
down one level lower.
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7. Inputs and Outputs

COBIT 5 provides inputs and outputs for every

management practice, whereas COBIT 4.1 only

provided these at the process level.
This provides additional detailed guidance for designing
processes to include essential work products and to
assist with interprocess integration.

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8. RACI Charts
COBIT 5 provides RACI charts describing roles and

responsibilities in a similar way to COBIT 4.1, Val IT

and Risk IT.
COBIT 5 provides a more complete, detailed and clearer
range of generic business and IT role players and charts
than COBIT 4.1 for each management practice, enabling
better definition of role player responsibilities or level of
involvement when designing and implementing
processes.

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8. RACI Charts

(cont.)

Source: COBIT 4.1, page 39. 2007 IT Governance Institute All rights reserved.

Source: COBIT 5: Enabling Processes, page 31. 2012 ISACA All rights reserved.

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9. Process Capability Maturity

Models and Assessments
COBIT 5 discontinues the COBIT 4.1, Val IT and Risk IT

CMM-based capability maturity modelling approach.

COBIT 5 will be supported by a new process capability
assessment approach based on ISO/IEC 15504, and the
COBIT Assessment Programme has already been
established for COBIT 4.1 as an alternative to the CMM
approach.
www.isaca.org/Knowledge-Center/cobit/Pages/COBITAssessment-Programme.aspx
The COBIT 4.1, Val IT and Risk IT CMM-based
approaches are not considered compatible with the
ISO/IEC 15504 approach because the methods use
different attributes and measurement scales.
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9. Process Capability Maturity

Models and Assessments
(cont.)

COBIT 4.1/5

2012 ISACA All rights reserved.

28

9. Process Capability Maturity

Models and Assessments

(cont.)

The COBIT Assessment Programme approach is

considered by ISACA to be more robust, reliable and

repeatable as a process capability assessment method.
The COBIT Assessment Programme supports:
Formal assessments by accredited assessors (assessor
training is being developed)
Less rigorous self-assessments for internal gap analysis
and process improvement planning
The COBIT Assessment Programme, in the future, will
also potentially enable an enterprise to obtain an
independent and certified assessments aligned to the
ISO/IEC standard.
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9. Process Capability Maturity

Models and Assessments

(cont.)

What materials support the COBIT Assessment Programme

approach?
COBIT Process Assessment Model (PAM): Using COBIT
4.1Serves as a base reference document for the performance
of a capability assessment of an organisations current IT
processes against COBIT
COBIT Assessor Guide: Using COBIT 4.1Provides details
on how to undertake a full ISO-compliant assessment
COBIT Self-assessment Guide: Using COBIT 4.1Provides
guidance on how to perform a basic self-assessment of an
organisations current IT process capability levels against
COBIT processes
The above materials exist to support COBIT 4.1-based assessments
now; versions will be produced to support COBIT 5-based
assessments.

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9. Process Capability Maturity

Models and Assessments

(cont.)

COBIT 4.1, Val IT and Risk IT users wishing to move to

the new COBIT Assessment Programme approach will

need to realign their previous ratings, adopt and learn the
new method, and initiate a new set of assessments in
order to gain the benefits of the new approach.
Although some of the information gathered from
previous assessments may be reusable, care will be
needed in migrating this information forward because
there are significant differences in requirements.

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9. Process Capability Maturity

Models and Assessments

(cont.)

COBIT 4.1, Val IT and Risk IT users wishing to

continue with the CMM-based approach, either as an

interim or ongoing approach, can use the COBIT 5
guidance, but must use the COBIT 4.1 generic attribute
table without the high-level maturity models.

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